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New York State Pollution Prevention Institute Research & Development Program

Request for Proposals

Funding Opportunity: 2013-02 - Revised January 6, 2014 Modification: Project start and end date Introduction The New York State Pollution Prevention Institute (NYSP2I) is a partnership between NYS Department of Environmental Conservation (DEC), Rochester Institute of Technology (RIT), Rensselaer Polytechnic Institute (RPI), University of Buffalo, and Clarkson University with a statewide research. The goal of NYSP2I is to make the State more sustainable for workers, the public, the environment and the economy through pollution prevention. Pollution prevention is reducing or eliminating waste at the source by modifying production processes, promoting the use of non-toxic or less-toxic substances, implementing conservation techniques, and re-using materials rather than putting them into the waste stream. Program Summary NYSP2I’s R&D Program focuses on applied research - research that will lead to short term solutions to keep New York State companies competitive in the marketplace while reducing their environmental footprint (see more detailed explanation of applied research below). The focus is to solve specific problems where the solution results in transferable practices and technologies applicable in New York State. Current research and development priorities include the use, elimination or substitution of toxic chemicals, overall waste reduction, and energy and water efficiency opportunities in the following priority manufacturing sectors:

o Chemical manufacturing o Food manufacturing o Primary metal manufacturing o Fabricated metal product manufacturing o Paper manufacturing o Computer and electronics products

Purpose

The purpose of this Request for Proposal (RFP) is to solicit projects to be undertaken by NYSP2I Partner University faculty, students, and staff that will focus on the R&D priorities stated above. The project must meet the following criteria to be considered:

• Have a pollution prevention and/or green engineering focus.

• Have the potential to have a positive environmental impact in New York State.

Preference will be given to projects that:

• Identify the NY industry sector(s) that can potentially benefit from the proposed work.

• Focus on source reduction methodologies.

• Show collaboration with one or more NYS manufacturer(s).

• Are applied research projects that fall within the Technology Readiness Levels (TRL) 4 through 7. The TRL scale was developed initially by NASA to categorize the different stages of research

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and development and has been broadly applied to different agencies and programs. The table summary provided below is from the Department of Energy and can be used as a guide. Basic research or proof of concept projects will not be funded (TRL 1-3). Conversely, developmental projects that are close to commercialization (TRL 8-9) are not the focus of this grants program; NYSP2I also offers a program called the Green Technology Accelerator Center (GTAC) which is designed to assist NY companies test and evaluate new technologies or processes that are ready to be commercialized (http://www.rit.edu/affiliate/nysp2i/green-technology-accelerator-center-gtac).

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Eligible Applicants Current faculty and staff at Rochester Institute of Technology, Rensselaer Polytechnic Institute, Clarkson University, and the University at Buffalo.

Funding Period Proposals should describe a project of up to 12 months in duration. Projects are expected to start on July 1, 2014and end on June 30, 2015. However, projects starting as early as June 1, 2014 will also be considered.

Multi-year awards (up to 3 years) will also be considered as well.

Award Information Individual, one year awards are expected to range from $50,000 to $75,000. Multi-year projects (up to 3 years) should include a budget that does not exceed $50,000 per year. The amount of the award will be commensurate with the quality of proposals received and anticipated results and impact to NYS. Awards are subject to the availability of funding. NYSP2I is not obligated to make any awards under this RFP.

Proposal Deadline Friday, January 31, 2014 by 5:00 pm EST. Please submit proposals (single PDF file) by email to:

R&D Program New York State Pollution Prevention Institute Rochester Institute of Technology 111 Lomb Memorial Drive Rochester, NY 14623 Email: expasp@rit.edu Anticipated Award Notification Date

March 31, 2014

Other Important Information Reporting - Quarterly progress reports will be required and are due on the 5th of the month following each calendar quarter. A final report will be due within 30 days of project completion.

NYSP2I may be able to assist PI’s in making connections with industry if needed.

NYS Standard Terms and Conditions, NYS Department of Environmental Conservation Terms and Conditions and relevant prime contract Terms and Conditions will be applicable to projects funded under this R&D program.*

Intellectual Property - The following terms will be applicable to projects awarded under this R&D program:

Intellectual property developed with funding from NYSP2I is meant to advance the state of the art in pollution prevention for the benefit of the citizens of New York State. Those who create, will own any intellectual property they develop through NYSP2I funding. Any intellectual property developed with NYSP2I funding will be available to the New York State Department of Environmental Conservation through a perpetual, non-exclusive, royalty free, transferable license. In addition, the NYSP2I shall have a non-exclusive, royalty free license to use intellectual property for non-commercial research and educational purposes. Furthermore, the owner of intellectual property will not charge any company based in New York State for the right to use such intellectual property.*

*Terms may be subject to change.

Proposal Requirements (10 page limit for sections 1, 2, and 3)

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1. Cover Page a. Title of proposal b. Name of principal investigator c. Name of co-principal investigator (if applicable) d. Name of university / institution affiliations - College and Department e. Physical address and phone f. Principal investigator(s) email address(es)

2. Abstract The abstract should be a one-page summary of the project. It should include a statement of objectives, methodology, and expected outcomes, and discuss the relevance to NYSP2I’s R&D priorities, and the significance of the project in terms of the potential impact to New York State and the environment.

3. Project Narrative The Project Narrative should include:

• A description of the problem with clear objectives and its importance. • The current state of research in this field. • The basic research hypothesis to solve this problem. • Statement of Technology Readiness Level of proposed technology or process. • The research plan and technical approach including expected results or impact if

successful and defined metrics that will be used to measure the potential positive environmental impact in New York State; the work plan should clearly state the key tasks needed to successfully complete the proposed project.

• Required resources including project personnel, items required for project success provided by the university (e.g. laboratories, computers, software, equipment, background IP), and any non-NYSP2I funding.

• Schedule - Note: all research must be completed by September 30, 2014. Also include a Gantt chart that describes the tasks, timeline, and allocation of resources and funding (see last page for example).

4. Budget Include direct expenses (personnel costs and non-personnel costs) and indirect costs including any overhead – Note: F&A (overhead) not to exceed 30.5%; also include a budget justification.

5. CVs – Provide CV for Principle Investigator and Co-PIs Proposal Length and Format: Proposals must be no more than 10 single spaced, numbered pages including the cover page and 1 page abstract (i.e., a page equals one side). Budget and CVs should be attached as an Appendix and are not included in the page limit. All reference should be cited and can be included as endnotes, which will not be included in the page limit.

Review Criteria: Proposals will be scored based on a list of criteria provided on the following page. It is important to keep in mind that projects need to focus on the higher priorities of pollution prevention. An example of a source reduction project would be the development of a new metal plating process that uses lower amounts of acids and heavy metals, a process change which results in fewer toxic chemicals used and less waste being created.

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Evaluation Categories Weight %

Fit with Priorities Listed 20

Potential Impact 20

Application/Tech Transfer Potential 15

Innovativeness 10

Approach/Methods 10

Project Plan/Follow Required Proposal Format 5

Qualification of PIs 10

Collaboration with Manufacturing Company 10

100

Submission: Proposals must be submitted by January 31, 2014, as a single PDF file, via email to:

R&D Program New York State Pollution Prevention Institute Rochester Institute of Technology 111 Lomb Memorial Drive Rochester, NY 14623 Phone: (585) 475-2603 Email: expasp@rit.edu

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For questions regarding the NYSP2I R&D program or this solicitation contact:

Kathleen Kosciolek Business Manager New York State Pollution Prevention Institute Rochester Institute of Technology 111 Lomb Memorial Drive Rochester, NY 14623 Phone: (585) 475-4325 Email: kxkasp@rit.edu OR Eugene Park, Ph.D. (technical questions) Asst. Director of Technical Programs New York State Pollution Prevention Institute Rochester Institute of Technology 111 Lomb Memorial Drive Rochester, NY 14623 Phone: (585) 475-2603 Email: expasp@rit.edu

Partner University Representatives: Clarkson Susan E. Powers, PhD, PE Spence Professor in Sustainable Environmental Systems Professor, Department of Civil & Environmental Engineering (315) 268-6542 sep@clarkson.edu RIT Nabil Z. Nasr, PhD Assistant Provost and Director, Golisano Institute for Sustainability (585) 475-5106 nasr@rit.edu RPI Joel Plawsky, PhD Professor Chemical Engineering (518) 276-6049 plawsky@rpi.edu UB Diana S. Aga, PhD Professor, Chemistry Department, http://www.acsu.buffalo.edu/~dianaaga/home.html Director, Graduate Studies in Chemistry 716-645-4220 dianaaga@buffalo.edu

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The New York State Pollution Prevention Institute (NYSP2I) is a state-wide research and technology transfer center whose mission is to make New York State more sustainable for workers, the public, the environment, and the economy.

NYSP2I is headquartered at Rochester Institute of Technology (RIT) and is a partnership between RIT, Clarkson University, Rensselaer Polytechnic Institute, University at Buffalo and the 10 NYS Regional Technology Development Centers.

To learn more about NYSP2I visit: http://www.rit.edu/affiliate/nysp2i/

Information regarding NYSP2I’s R&D Program can be found at: http://www.rit.edu/affiliate/nysp2i/research-and-development.

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Example Schedule

Task 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter

Phase 1 Task 1: Sample gathering Task 2: Literature Search Task 3: Model Development Task 4: Equipment Set-up

Phase 2 Task 1: Experiments Task 2: Analysis of Results Task 3: Final Report

Resources 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter Total

Principal Investigator (hours) 5 10 10 10 35 Students (hours) 30 10 10 10 60 Contractors/Consultants 20 10 10 10 60

Estimated Expenditures 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter

Principal Investigator $ 250 $ 2,500 $ 2,500 $ 2,500 $ 7,750 Students 450 150 150 150 $ 900 Other Contractors/Consultants 3,000 1,500 1,500 1,500 $ 7,500 Test Costs (pilot studies, analytical testing) 1,000 500 500 500 $ 2,500 Disposal Costs 3,800 3,800 3,800 3,800 $15,200 Permanent Equipment (system costs) 1,200 1,000 4,000 4,000 $10,200 Other (supplies) 500 500 500 500 $2,000

TOTALS $10,200 $ 9,950 $12,950 $12,950 $46,050

Deliverables (State expected outcomes at for each

quarter)

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